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The Privacy Specialist serves as a key contributor to the enterprise privacy program for a FINRA-registered broker-dealer and SEC-registered investment adviser.

This role operates with a high degree of independence and judgement, leading assigned privacy workstreams and supporting compliance with applicable regulations, including GLBA and Regulation S-P.  The Privacy Specialist partners cross-functionally to implement privacy practices, assess risk, and enhance program effectiveness. 

The position works under the direction of the Principal Privacy Officer and is responsible for driving execution of core privacy activities, identifying opportunities for process improvement, and ensuring operational alignment with regulatory expectations and internal standards. 

What You'll Do: 

• Privacy Program Execution & Governance

  • Own and execute assigned components of the enterprise privacy program, ensuring alignment with regulatory requirements and internal policies. 
  • Manage intake, triage, and resolution of privacy-related inquiries, exercising judgement in prioritization and response.
  • Maintain and enhance privacy policies, procedures, and standards, recommending updates based on regulatory changes and business needs.
  • Provide guidance to internal stakeholders on privacy requirements and best practices. 

• Data Inventory & Data Mapping

  • Manage assigned portions of the enterprise data inventory, including data mapping and system documentation. 
  • Analyze data flows and data usage to identify potential privacy risks or gaps.
  • Partner with business and technology teams to ensure data inventory accuracy and completeness. 
  • Recommend improvements to data governance processes and documentation standards. 

• Vendor Risk & Third-Party Oversight 

  • Lead privacy-related components of vendor risk assessments, including review of data protection documentation.

  • Evaluate vendor practices and identify gaps relative to regulatory and company standards.

  • Partner with Risk, Legal, and Procurement to ensure appropriate mitigation strategies are implemented.

  • Track and report on vendor-related privacy risks and remediation status.

• Privacy Incident Management

  •  Manage intake, tracking, and coordination of privacy incidents in accordance with established protocols. 

  • Evaluate incident details and escalate issues as appropriate, applying judgment to assess risk and impact.

  • Identify trends in incidents and recommend process or control improvements. 
  • Coordinate cross-functional response efforts and ensure proper documentation and resolution. 

• Vendor Risk & Third-Party Oversight 

  • Lead privacy-related components of vendor risk assessments, including review of data protection documentation.

  • Evaluate vendor practices and identify gaps relative to regulatory and company standards.

  • Partner with Risk, Legal, and Procurement to ensure appropriate mitigation strategies are implemented.

  • Track and report on vendor-related privacy risks and remediation status.

• Privacy Incident Management

  •  Manage intake, tracking, and coordination of privacy incidents in accordance with established protocols. 

  • Evaluate incident details and escalate issues as appropriate, applying judgment to assess risk and impact.

  • Identify trends in incidents and recommend process or control improvements. 
  • Coordinate cross-functional response efforts and ensure proper documentation and resolution. 

 

What You Need to Have: 

• Bachelor’s degree in Business, Legal Studies, Information Security, or related field.
• 6+ years of experience in privacy, compliance, risk, legal, or related field.

• Experience supporting or executing privacy programs, preferably in financial services or a regulated industry. 

• Strong analytical and problem-solving skills, with the ability to interpret regulatory requirements and apply them in practice. 

• Demonstrated ability to manage work independently and exercise sound judgment in decision-making.

 

 

What's Nice to Have: 

• Experience with privacy regulations such as GLBA, Regulation S-P, and state privacy laws (e.g., CCPA).

• Professional certifications (e.g., CIPP, CIPM, CIPT).

• Experience with privacy management tools (e.g., OneTrust).

• Experience in financial services is a plus.

• Strong communication skills with the ability to influence stakeholders across functions.

 

 

 

#LI-Hybrid 

 

About Us

What we give you in return:

Not many teams can say that they support people’s dreams coming to life. We happen to do that every day. And as important as we know your career is, we recognize that there’s a whole lot more to life. To ensure that our employees can make the most of their time outside of working hours, we offer a competitive salary and for full-time roles, a benefits package including:

• Inclusive health, dental, vision, and life insurance plans built to support diverse lifestyles, offer preventative care, and protect against hardship.
• Easy access to mental health benefits to meet our team members and their families where they are.
• 20+ days of paid time off (PTO), paid holidays, and 2 paid wellness days to give our employees the time they need to stay close with their loved ones, recharge, and give back to their communities.
• 401(k) savings plan with a generous company contribution (up to 5%), and access to a financial professional to offer our employees the opportunity to plan-ahead for a strong financial future well beyond their working years.
• Paid parental leave to support all team members with birth, adoption, and fostering.
• Health Savings and Flexible Spending Account options to help you save money on healthcare, daycare, commuting, and more.
• Employee Assistance Program (EAP), LifeLock, Pet Insurance and more.
• Paid caregiver leave to provide time away from work when caring for an ill or recovering family member.
• Additional benefits such as an Employee Assistance Program (EAP), identity theft protection (LifeLock), pet insurance, and other voluntary benefits to provide extra peace of mind

About Cetera

Cetera Financial Group® (Cetera) is a leading network of independent retail broker-dealers and registered investment advisers empowering the delivery of objective financial advice to individuals, families, and company retirement plans across the country through trusted financial advisors and financial institutions. Cetera is one of the largest independent financial advisor networks in the nation and a leading provider of retail services to the investment programs of banks and credit unions.

Advisor support resources offered through Cetera include award-winning wealth management and advisory platforms, comprehensive broker-dealer and registered investment adviser services, practice management support, and innovative technology.

Cetera Financial Group (Cetera) is a network of independent retail firms, including those that are members of FINRA/SIPC: Cetera Advisors LLC; Cetera Wealth Services, LLC (formerly known as Cetera Advisor Networks); Cetera Investment Services LLC (marketed as Cetera Financial Institutions or Cetera Investors); and Cetera Financial Specialists LLC. Entities registered as investment advisers with the Securities and Exchange Commission include Cetera Investment Management LLC and Cetera Investment Advisers LLC. Cetera's principal office is located at 655 W. Broadway, 11th Floor, San Diego, CA 92101. Avantax Planning Partners, Inc. is an SEC registered investment adviser within the Aretec Group, Inc. (dba Cetera Holdings, an affiliate of Cetera). All the referenced entities are under common ownership.

Cetera Financial Group is committed to providing an equal employment opportunity for all applicants and employees. For us, this is the only acceptable way to do business. Accordingly, all employment decisions at Cetera Financial Group, including those relating to hiring, promotion, transfers, benefits, compensation, and placement, will be made without regard to race, color, ancestry, national origin, citizenship, age, physical and/or mental disability, medical condition, pregnancy, genetic characteristics, religion, religious dress and/or grooming, gender, gender identity, gender expression, sexual orientation, marital status, U.S. military status, political affiliation, or any other class protected by state and/or federal law.

Agencies please note: this recruitment assignment is being managed directly by Cetera’s Talent Acquisition team. We will reach out to our preferred agency partners in the rare instance we require additional talent options. Your respect for this process is appreciated.

Please review our Workforce Privacy Policy for further details on what information we collect and the purposes for collection.